Broker-Dealer Firms
80,028 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
A 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.
Sort and filter the full register below, or read the grade methodology.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| Pegasus Management Services L.L.C. CRD: 314533 | - | 0 | 3 | - | Unknown |
| Pegasus Merger Fund II, L.P. CRD: 44252 | - | 0 | 0 | A | INACTIVE |
| Pegasus Partners CRD: 175206 | - | 0 | 0 | - | Unknown |
| Pegasus Partners Securities Inc. CRD: 32562 | - | 0 | 0 | A | INACTIVE |
| Pegasus Securities, LLC CRD: 140182 | - | 0 | 0 | A | INACTIVE |
| Pegasus Tech Ventures, Inc. CRD: 164588 | - | 0 | 1 | - | Unknown |
| Pegasus Wealth Management CRD: 285206 | - | 0 | 1 | - | Unknown |
| Peggy Jane Fisher CRD: 142469 | - | 0 | 0 | - | Unknown |
| Pegs RIA CRD: 324229 | - | 0 | 0 | - | Unknown |
| PEI Global Partners LLC CRD: 297979 | FL | 0 | 3 | A | Active |
| PEI, Inc. CRD: 17726 | - | 0 | 0 | A | INACTIVE |
| Peirce Capital Management, LLC CRD: 142654 | - | 0 | 3 | - | Unknown |
| Pekin Hardy Strauss, Inc. CRD: 107310 | - | 0 | 5 | - | Unknown |
| PEL Financial, LLC CRD: 305126 | - | 0 | 0 | - | Unknown |
| Peleh Advisors Limited CRD: 340219 | - | 0 | 0 | - | Unknown |
| Pelennor Asset Management CRD: 165349 | - | 0 | 0 | - | Unknown |
| Pelham Capital Ltd CRD: 173584 | - | 0 | 0 | - | Unknown |
| Pelham Consulting Group CRD: 311673 | - | 0 | 0 | - | Unknown |
| Pelham Fund Management, LLC CRD: 321625 | - | 0 | 1 | - | Unknown |
| Pelham Global Financials Ltd CRD: 297088 | - | 0 | 0 | - | Unknown |
| Pelham S2K Managers, LLC CRD: 282948 | - | 0 | 1 | - | Unknown |
| Pelican Advisory LLC CRD: 330658 | - | 0 | 1 | - | Unknown |
| Pelican BAY Asset Management, Inc. CRD: 121410 | - | 0 | 2 | - | Unknown |
| Pelican BAY Capital Management CRD: 298186 | - | 0 | 0 | - | Unknown |
| Pelican Energy Partners CRD: 163267 | - | 0 | 1 | - | Unknown |
| Pelican Financial Planning and Wealth, PLLC CRD: 335198 | - | 0 | 1 | - | Unknown |
| Pelican Invests CRD: 329771 | - | 0 | 0 | - | Unknown |
| Pelican Quantitative Investments, LLC CRD: 163436 | - | 0 | 0 | - | Unknown |
| Pelican Wealth Management CRD: 289549 | - | 0 | 1 | - | Unknown |
| Pelion Investment Advisors, Inc. CRD: 138400 | - | 0 | 2 | - | Unknown |
| Pelion Venture Partners CRD: 162762 | - | 0 | 1 | - | Unknown |
| Pelkonen and Associates LLC CRD: 305933 | - | 0 | 1 | - | Unknown |
| Pelleton Capital Management, Ltd. CRD: 117679 | - | 0 | 2 | - | Unknown |
| Pellett Investments, Inc. CRD: 19834 | - | 0 | 0 | A | INACTIVE |
| Pelmerco, Ltd. CRD: 22980 | - | 0 | 0 | A | INACTIVE |
| Pelorus Financial, LLC CRD: 299043 | - | 0 | 1 | - | Unknown |
| Pelorus Jack Capital, L.P. CRD: 287678 | - | 0 | 0 | - | Unknown |
| Peloton Capital Management CRD: 109775 | - | 0 | 1 | - | Unknown |
| Peloton Equity LLC CRD: 301543 | - | 0 | 1 | - | Unknown |
| Peloton Securities LLC CRD: 304178 | NH | 0 | 2 | A | Active |
| Peltoma Capital Partners CRD: 325138 | - | 0 | 2 | - | Unknown |
| Pembani Remgro Infrastructure Managers CRD: 329652 | - | 0 | 0 | - | Unknown |
| Pemberton Asset Management S.A. CRD: 282865 | - | 0 | 0 | - | Unknown |
| Pemberton Capital Advisors LLP CRD: 282621 | - | 0 | 0 | - | Unknown |
| Pemberton Capital S.A.R.L. CRD: 282868 | - | 0 | 0 | - | Unknown |
| Pemberton Securities (U.S.) Inc. CRD: 1204 | - | 0 | 0 | A | INACTIVE |
| Pembroke Advisors, Inc. CRD: 125011 | - | 0 | 0 | - | Unknown |
| Pembroke Asset Advisors, LLC CRD: 172999 | - | 0 | 1 | - | Unknown |
| Pembroke Financial Partners LLC CRD: 47193 | - | 0 | 0 | A | INACTIVE |
| Pembroke Management Ltd. CRD: 155405 | - | 0 | 0 | - | Unknown |